UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class A Preferred Stock - Series 4 | (3) | (4) | Common Stock | 504,800 (5) | $ (3) | D | |
Class A Preferred Stock - Series 4 | (3) | (4) | Common Stock | 6,481,720 | $ (3) | I | By K&H Fisch Family Partners, LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FISCH HARRY 150 NORTH MICHIGAN AVENUE, SUITE 1580 CHICAGO, IL 60601 |
X | X | ||
K&H Fisch Family Partners, LLC 30 SPRINGDALE RD SCARSDALE, NY 10583 |
X |
/s/ Harry Fisch | 11/04/2016 | |
**Signature of Reporting Person | Date | |
K&H FISCH FAMILY PARTNERS, LLC, /s/ Harry Fisch, By: Harry Fisch, Title: Manager | 11/04/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes 46,986 shares of Common Stock held jointly by Dr. Fisch and his spouse. |
(2) | The securities are held by K&H Fisch Family Partners, LLC, of which Dr. Fisch is the sole manager. Dr. Fisch disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that Dr. Fisch is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
(3) | Each share of Class A Preferred Stock - Series 4 will automatically convert into 40 shares of Common Stock of the Issuer upon receipt by the Issuer of approval by the affirmative vote of the holders of the Issuer's capital stock by the required vote under the Wisconsin Business Corporation Law and the NASDAQ listing rules, as applicable, of (i) an amendment to the Issuer's Amended and Restated Articles of Incorporation to increase the total number of authorized shares of Common Stock by a sufficient amount to permit such conversion and (ii) the conversion of the Class A Preferred Stock - Series 4 pursuant to applicable NASDAQ rules. |
(4) | The Class A Preferred Stock - Series 4 has no expiration date. |
(5) | Includes 404,440 shares of Common Stock issuable upon the conversion of 10,111 shares of Class A Preferred Stock - Series 4 held jointly by Dr. Fisch and his spouse. |
Remarks: Exhibit List Exhibit 24.1 - Power of Attorney Exhibit 24.2 - Power of Attorney Exhibit 99.1 - Joint Filer Information |